Articles Tagged with Pnc Wealth Management LLC

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The law offices of Gana Weinstein LLP represents investors in investment disputes with their financial advisors or brokerage firms, such as PNC Wealth Management LLC. Many investors do not recognize financial advisor misconduct when it happens, but there are steps that can be taken to recover investment losses. There are many different types of broker misconduct, including breach of fiduciary duty, failure to supervise, misrepresentation, and churning. The attorneys at Gana Weinstein LLP can analyze your investments to determine if there was actionable misconduct by the broker or brokerage firm.

PNC Wealth Management LLC is the broker-dealer and investment adviser of PNC Bank, offering equities, fixed income, mutual funds, annuities, insurance, and fee-based portfolio management to individuals, small businesses, and institutions. Approved by the SEC in 2003 and based in Pittsburgh, the firm rebranded from PNC Investments in 2025 and clears through National Financial Services LLC.

PNC Wealth Management LLC – By the Numbers:

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Derek Ghiotto (Ghiotto), currently associated with Pnc Wealth Management LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ghiotto recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $60,000.00 on October 07, 2020.

Client alleges breach of fiduciary duty and contract related to a managed account asset allocation change that occurred on, or about March 17, 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Pestikas (Pestikas), currently associated with Pnc Wealth Management LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pestikas recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $35,955.54 on October 15, 2020.

Client alleges registered representative did not correctly explain how additional premiums would be credited to the contract’s income rider.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Karl Zimmerman (Zimmerman), currently associated with Pnc Wealth Management LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zimmerman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a award / judgment customer complaint on March 14, 2022.

The decision to offer 3.75% on the line of credit instead of 3.25% violated Reg BI and advice within investment strategy that claimant should borrow against the non-purpose loan at 3. 75% rather than sell pledged stock (BGCP) which was paying 6% to buy Florida home.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Pinto (Pinto), currently associated with Pnc Wealth Management LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pinto recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $95,540.00 on May 06, 2022.

Customer alleges that registered representative’s execution of equity liquidation order was inconsistent with customer’s instruction.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Albert (Albert), currently associated with Pnc Wealth Management LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Albert recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $15,764.00 on May 09, 2022.

Customer alleges that representative did not correctly explain the features associated with the investments and they were not consistent with her stated objectives.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rochelle Roerig (Roerig), currently associated with Pnc Wealth Management LLC, has at least one disclosable event. These events include one customer complaint, alleging that Roerig recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $54,755.00 on June 01, 2022.

Client alleges representative’s purchase of bond for his account was inconsistent with his direction.

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